I understand there are some risks to buy leveraged funds, but I am willing to take the risks.
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@claims-finra.org.” The domain of “claims-finra.org” is not connected to FINRA and firms should delete all emails originating from this domain name.
These enhancements/improvements are absolutely necessary. What's currently being allowed is borderline criminal, and without proper accountability, shareholders are being placed at excessive risk. The current regulatory conditions and enforcement are clearly insufficient, leaving investors/shareholders at higher risk, thus requiring better information in order to make decisions about the
I understand the risks associated with leveraged and inverse funds and it is my decision to take that risk.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA extended hearing panel censured Albany, NY-based broker-dealer C.L. King & Associates, Inc. and fined the firm $750,000 for negligently making material misrepresentations and omissions to issuers in connection with the firm’s redemptions of debt securities on behalf of a hedge fund customer. The
As a CPA and investor for over 40 years, Im writing to express my deep concern that proposed rules being considered by FINRA will limit my access to leveraged and inverse funds. These products are an important part of my investment strategy that help me mitigate risk and protect my long-term investments during market downturns.
Balancing my long-term holdings with inverse funds allow me to hold
I have been investing in the stock market for more than twenty-five years. When I invested in individual securities in my early investment years, I wasn't successful at all. After switching to the first ETF, then only leveraged ETFs, my success in investment improved drastically. Eliminating the leveraged ETFs from the choices of investment vehicles is the wrong decision. If the leveraged
We know risks involved w these ETFS it is up to us to have risk management, and protect our accounts.
<p>Applicability of NASD Rule 3030 to an associated person filing a membership application with the NASD to form a new broker/dealer.<br />
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What is the purpose of this change? It seems that this change is to benefit institutional investors by restricting retail investors access to complex products. Leveraged and inverse ETFs are incredibly important to my trading strategy and would be detrimental to my portfolio to remove or limit my access to these products. These are important protections and funds available to continue growing my